Elements and Performance Criteria

RANGE STATEMENT
The range statement relates to the unit of competency as a whole. It allows for different work environments and situations that may affect performance. Bold italicised wording, if used in the performance criteria, is detailed below. Essential operating conditions that may be present with training and assessment (depending on the work situation, needs of the candidate, accessibility of the item, and local industry and regional contexts) may also be included.
Range of operations may include:
full range of operations of an organisation at a particular site
full range of operations of an organisation distributed across multiple sites
full range of operations of an organisation, including mobile units such as vehicles, railway trains, maritime vessels and aircraft
operations of a particular section or organisational unit.
Compliance requirements may include:
cross-industry, industry-specific and internal organisational compliance requirements in such areas as (examples in alphabetical groupings):
anti-discrimination, including discrimination by race, sex, disability, religion, etc.; alcohol licensing, including licensing regulations covering clubs, pubs, licensed premises, etc.; aviation
bankruptcy
chemical use, child protection, construction, conveyancing/real estate, copyright, corporate governance, customs, credit
education, electricity, environmental protection, equal opportunity
financial services, including banking; fire; food hygiene; freedom of information; freight forwarding
gambling, gene technology
health, human rights
insurance, immigration, intellectual property
land management
maritime, mining
pharmaceuticals, patents, privacy
quarantine
racing, rail transport, road transport
safety, including cross-industry generic regulations as well as industry, equipment or product-specific subcategories, e.g. marine safety, rail safety, food safety, aviation safety, road safety, dangerous goods, construction safety, mine safety, etc.; security; sewage; superannuation
taxation, telecommunications, tobacco, trade practices and consumer protection
water supply, workers compensation, workers rehabilitation
different types of internal and external compliance requirements, including:
accreditation requirements of an institute, professional organisation or registration body
internal policies, procedures, standards or codes of practice of an organisation
regulations of a state or territory, national or international regulatory authority
requirements for certification under statutory licensing systems
statutory standards or codes of practice.
Information on internal and external compliance requirements may include:
internal policies, standard operating procedures, standards, and codes of practice
published material relevant to compliance held in either internal or external libraries
relevant legislation, regulations and licensing requirements pertinent to the organisation's operations and sphere of business.
Search resources may include:
computer terminals linked to data sources either via the internet, internal networks, or CDs
library resources and materials, including compliance-related books, journals, manuals, standards, CDs and other multimedia resources
published information on such things as relevant legislation, regulations, licensing requirements, codes of practice and Australian standards.
Relevant Australian and international standards may include:
AS 3806:2006 Compliance programs
AS ISO 10002:2006 Customer satisfaction - Guidelines for complaints handling in organizations
AS ISO 15489:2004 Records management
AS/NZS 4360:2004 Risk management.
Jurisdictions of laws, regulations, industry and organisational codes and standards may include:
global
industry
local
national
organisational
state or territory.
Information on relevant compliance requirements may include:
correspondence, emails and other written information provided by internal and external personnel contacted during search activities
information downloadable from relevant websites
newsletters, bulletins and information sheets and other similar periodic documentation distributed by relevant regulatory authorities and standards bodies
published information on legislation, regulations, codes of practice, standards, licensing requirements, standard operating procedures, etc.
records of conversations and meetings with relevant internal and external personnel.
Relevant internal personnel may include:
board of directors
chief executive officer
compliance management team
compliance specialists at the operational level
frontline managers
senior management team.
Relevant external personnel may include:
legal and business advisors and consultants with expertise in compliance management
representatives of professional associations and institutes relevant to the organisation's operations and sphere of business
representatives of relevant authorities in pertinent compliance areas.
Relevant personnel performing specific compliance management functions may include:
compliance management consultants
compliance management officers
compliance managers
legal personnel specialising in compliance management
line managers with specific compliance functions.

EVIDENCE GUIDE
The Evidence Guide provides advice on assessment and must be read in conjunction with the performance criteria, required skills and knowledge, range statement and the Assessment Guidelines for the Training Package.

Overview of assessment

Critical aspects for assessment and evidence required to demonstrate competency in this unit
Evidence of the ability to:
document processes used to identify, analyse and interpret organisational compliance requirements
apply knowledge of elements of compliance programs and related management systems.

Context of and specific resources for assessment
Assessment must ensure access to:
organisational policies and procedures, standard operating procedures, and plans
relevant published material on legislation, regulations, licensing requirements, codes of practice, standards, etc.
appropriate computer resources for online searching and review of relevant compliance requirements.

Method of assessment
A range of assessment methods should be used to assess practical skills and knowledge. The following examples are appropriate for this unit:
observation of activities undertaken to identify compliance requirements
assessment of reports identifying compliance requirements and containing analysis of the implications of those requirements on organisational objectives, processes and systems
direct questioning combined with review of portfolios of evidence and third-party workplace reports of on-the-job performance by the candidate
observation of interactions with internal and external stakeholders while identifying compliance requirements
oral or written questioning to assess knowledge of compliance requirements and their impact on organisational objectives, processes and systems
review of authenticated compliance promotional documents or computer files from the workplace or training environment.

Guidance information for assessment
Holistic assessment with other units relevant to the industry sector, workplace and job role is recommended.